Tag: SFC
Hong Kong SFC Fines IPO Sponsor TC Capital $382,000 & Suspends...
Hong Kong SFC Fines IPO Sponsor TC Capital $382,000 & Suspends Chairman Edward Wu License for 7 Months for Due Diligence Failure in China...
Hong Kong SFC Fines KTF Capital $50,000 for Failure to Report...
Hong Kong SFC Fines KTF Capital $50,000 for Failure to Report Insufficient Capital Requirement of $360,000, $2.5 Million Deficit from Failure to Anticipate Adverse...
Hong Kong SFC Fines Brokerage Firm Rifa Futures $1.14 Million for...
Hong Kong SFC Fines Brokerage Firm Rifa Futures $1.14 Million for Failures in KYC & Money-Laundering, 310 Clients including Mainland China Investors Trade Through...
Hong Kong Asset Management & Fund Advisory – by Client Type
Hong Kong Asset Management & Fund Advisory – by Client Type
Hong Kong Asset Management & Fund Advisory Business – by Client Type
Corporations / financial...
Hong Kong Asset & Wealth Management Business Staff Profile – by...
Hong Kong Asset & Wealth Management Business Staff Profile – by Job Function
Asset & Wealth Management Business Staff Profile – by Job Function:
Sales...
Hong Kong Asset & Wealth Mgmt by Investor Base
Hong Kong Asset & Wealth Mgmt by Investor Base
HK Asset & Wealth Mgmt by Investor Base:
Hong Kong: 35%
Mainland China: 9%
Rest of...
Hong Kong Private Banking and Private Wealth Management – by Client Type
Hong Kong Private Banking and Private Wealth Management – by Client Type
Hong Kong Private Banking and Private Wealth Management – by Client Type:
Corporations /...
Hong Kong Private Banking & Private Wealth Management – by Investor Base
Hong Kong Private Banking & Private Wealth Management – by Investor Base
Hong Kong Private Banking & Private Wealth Management – by Investor Base:
Hong Kong: 48%
Mainland China:...
Hong Kong SFC Asset & Wealth Management Report 2021: $4.55 trillion...
Hong Kong SFC Asset & Wealth Management Report 2021: $4.55 trillion AUM, Private Banking & Private Wealth AUM $1.35 trillion, 54,003 Headcount
23rd July 2022...
Hong Kong SFC Fines RBC $980,000 for Failure to Segregate Client...
Hong Kong SFC Fines RBC $980,000 for Failure to Segregate Client Money 86 Times with Highest Single Transaction was $6.62 Million, Transferred Securities from...
